Compliance Manager

Compliance Officer | Broker-Dealer | Los Angeles Los Angeles based Broker Dealer is looking for a Junior Compliance Associate to join their Century City location. The role position will report directly to the CCO and will assist them with a broad range of compliance tasks.

Key Responsibilities

  • Assist with AML risk monitoring
  • Deal with regulatory inquiries/requests
  • Assist with the provision of training to employees.
  • Regular liaison with the CCO.
  • Assist with maintenance of relevant compliance registers, records and files.
  • client suitability review
  • Undertake operations and office administration tasks
  • Additional adhoc projects and work as requested by the CCO or Senior Management

Key Qualifications

  • 3-5 years experience in the financial services industry.
  • Series 7 required, 24 preferred
  • High proficiency with desktop applications and MS Office suite of products is required.

Salary 40k – 50k depending on experience

Job Type: Full-time

Experience:

  • Finance: 3 years (Required)

Education:

  • High school or equivalent (Required)

License:

  • Series 7 License (Required)

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